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Sophia Romano

Ubs Financial Services Inc.

Scarborough, ME

Portland, ME

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-01-06
ME RA APPROVED 2022-06-10
  • TX RA
    APPROVED_RES
    Since 2026-01-06
  • ME RA
    APPROVED
    Since 2022-06-10

Branch Locations

Scarborough, ME • United States

One City Center 10Th Floor, Portland, ME 04101 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Td Bank Falmouth ME 07/2021 02/2022
Maine Employers' Mutual Insurance Company Portland ME 02/2021 05/2021
Maine Employers' Mutual Insurance Company Portland ME 12/2019 01/2020
Maine Employers' Mutual Insurance Company Portland ME 06/2019 08/2019
Td Bank Falmouth ME 05/2020 08/2020
Ameriprise Cranston RI 10/2019 03/2020
Bryant University North Smithfield RI 09/2017 11/2020
South Portland School Systems South Portland ME 09/2004 09/2017
Ubs Portland ME 04/2022 Present
  • 07/2021 → 02/2022
    Td Bank
    Falmouth, ME
  • 02/2021 → 05/2021
    Maine Employers' Mutual Insurance Company
    Portland, ME
  • 12/2019 → 01/2020
    Maine Employers' Mutual Insurance Company
    Portland, ME
  • 06/2019 → 08/2019
    Maine Employers' Mutual Insurance Company
    Portland, ME
  • 05/2020 → 08/2020
    Td Bank
    Falmouth, ME
  • 10/2019 → 03/2020
    Ameriprise
    Cranston, RI
  • 09/2017 → 11/2020
    Bryant University
    North Smithfield, RI
  • 09/2004 → 09/2017
    South Portland School Systems
    South Portland, ME
  • 04/2022 → Present
    Ubs
    Portland, ME
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-06-09
  • S66 Uniform Combined State Law Examination
    2022-06-09
Other Names
  • Sophia Noelle Romano

View on SEC IAPD

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